Privileged and Confidential

Agreement between the Wildrose Alliance Political Association (the "Wildrose") and the Chief Compliance and Enforcement Officer (the "CCEO") of the Canadian Radio-television and Telecommunications Commission (the "Commission") WHEREAS the Commission established the Canadian Radio-television and Telecommunications Commission Unsolicited Telecommunications Rules (the "Unsolicited Telecommunications Rules") in Telecom Decision 2007-48 and subsequent decisions pursuant to its authority under section 41 of the Telecommunications Act, S.C. 1993, c. 38 (the "Act"); AND WHEREAS the CCEO commenced an investigation into calls that were made on behalf of the Wildrose in the province of Alberta between the dates March 2011 and November 2012 to conduct a polling campaign with respect to voting preferences and government initiatives, using an Automatic Dialing-Announcing Device ("ADAD"); AND WHEREAS the calls in question did not begin with a clear message identifying the person on whose behalf the call was made and did not include a mailing address where the telecommunication originator could be reached; AND WHEREAS the calls in question were authorized by persons who were employed by the Wildrose (the "Wildrose Employees"); AND WHEREAS the Wildrose Employees hired and authorized a third party telemarketer, Racknine Inc. (Racknine), to make the calls on behalf of the Wildrose; AND WHEREAS the calls in question were authorized to be sent on behalf of the Wildrose without Wildrose having implemented procedures that were compliant with the Unsolicited Telecommunications Rules; AND WHEREAS the CCEO has concluded her investigation and dete1mined on reasonable grounds that the Wildrose committed violations of Part IV, subsection 4 d) of the Unsolicited Telecommunications Rules in respect of the calls in question; AND WHEREAS a notice of violation is being issued pursuant to section 72.07 of the Act (the "Notice of Violation") concurrently with this Agreement; AND WHEREAS the Wildrose has fully cooperated with the CCEO's investigation and has endeavored to take all reasonable measures to ensure future compliance with the Unsolicited Telecommunications Rules and to work with the CCEO to promote better awareness of the Unsolicited Telecommunications Rules; AND WHEREAS the CCEO and the Wildrose have reached an agreement that addresses all of the CCEO's outstanding concerns regarding the use of ADADs by the Wildrose to make unsolicited telecommunications. AND WHEREAS, the CCEO contirms her use of the principles of fairness and equity throughout her investigation and enforcement of the Unsoliciled Telecommunications Rules.

Privileged and Confidential

NOW THEREFORE THE PARTIES AGREE AS FOLLOWS:

1.

Application of this Agreement

l.l The provisions of this Agreement apply to the Wildrose, including Wildrose Management, staff and volunteers.

1.2

For the purposes of this Agreement,

"Wildrose Management" shall mean, the Executive Director and General Counsel of the (a) Wildrose.

2.

Compliance with the Unsolicited Telecommunications Rules

2.1 The Wildrose will comply with the Unsolicited Telecommunications Rules generally and, in pmiicular, Part IV, subsection 4 d) (reproduced below):
4. A person using an ADAD to make unsolicited telecommunications where there is no attempt to solicit, shan
comply with the following conditions:

d) such telecommunications shall begin with a clear message identifYing the person on whose behalf the telecommunication is made. 1l1is identification message shall include a mailing address and a local or toll-free telecommunications number at which a representative of the originator of the message can be reached. In the event tl1at tl1e actual message relayed exceeds sixty (60) seconds, tl1e identification message shall be repeated at the end of the telecommunication;

2.2 For greater clarity, the Wildorse will ensure that all unsolicited telecommtmications made via an ADAD, will contain a clear message identifying to consumers that the call is made on its behalf, and include a mailing address and local or toll-free telecommWlications number at which a representative of the Wildrose can be reached.
3. Administrative Monetary Penalty

3.1 Upon execution of this Agreement, the Wildrose will pay an administrative monetary penalty in the amount of $90,000 in respect of the violations set out in the Notice of Violation, a copy of which is attached as Appendix "A" of this Agreement.
4. Compliance Program

4.1 TI1e Wildrose will be responsible for the development and implementation of a compliance program addressing unsolicited telecommunications made on its behalf (the "Compliance Program"), the goal of which will be to promote compliance with the Unsolicited Telecommunications Rules generally and, specifically, without limiting the generality of the foregoing, to promote compliance with Part IV.
4.2 The Wildrose will appoint a compliance officer, within 60 days of the execution of this Agreement, who will be responsible for implementing the Compliance Program and will facilitate communications with staff of the Compliance and Enforcement Sector of the Commission ("Commission staff') regarding ongoing compliance measures.
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Privileged and Confidential

4.3 Wildrose Management, and the Compliance Officer will fully support and enforce the Compliance Program and will take an active and visible role, with staff and volunteers, in its continued implementation. Once complete, the Compliance Program will be reviewed and amended tram time to time, as appropriate. 4.4 The Compliance Program will include the following elements:
1. Written policies and procedures addressing compliance with Pari IV and all other

provisions of the Unsoliciled Telecommunicalions Rules; 2. Education and training progran1s for those persons involved in initiating unsolicited telecommunications, implemented periodically in the regular course, and in the context of an election campaign, in all cases prior to the commencement of that campatgn; 3. Record keeping procedures in order to facilitate verification of compliance both internally and by Commission staff, as required; 4. Registration and tracking of complaints relating to unsolicited telecommunications and their subsequent reso Iuti on; 5. Disciplinary procedures for compliance failures; 6. Arrangements with third parties telemarketers that address compliance with the Unsolicited Telecommunications Rules and assign responsibility for specific obligations; and 7. Communications with Commission staff to the extent it is deemed necessary in order to determine compliance with the Umolicited Telecommunications Rules. 4.5 Within 90 days of execution of this Agreement, the Wildrose will submit the completed Compliance Program to the CCEO along with a written report describing the measures taken to implement it. Subsequently, the CCEO will be entitled to require the Wildrose to report to the CCEO, on an annual basis, with respect to ongoing compliance with the Unsolicited Telecommunicalions Rules.
5. Gcncral

5.1 This Agreement is entered into voluntarily by the Wildrose. This Agreement settles, and releases the Wildrose from all existing and potential claims by the CCEO against the Wildrose as of the date of this Agreement, and the CCEO confirms that there are no remaining compliance issues or complaints relating to the Unsolicited Telecommunications Rules that are under investigation by Commission staff or whose nature have not been disclosed to the Wildrose.

5.2 This Agreement may be executed in counterpart, and each counterpart when taken as a whole with the other executed counterparts shall constitute an original agreement, dated as of the date set out below. Delivery of an executed copy or countei])art of this Agreement by facsimile transmission or electronically in portable document format (PDF) shall constitute valid and effective delivery.

Privileged and Confidential

5.3 This agreement will be govemed by and construed in accordance with the laws of the Province of Ontario and the laws of Canada appli cable therein.

Dated at Gatineau, Quebec, this

c:9Y

day of May 2013.

Rosen ef Compliance and Enforcement of Officer Canadian Radio-television and Telecommunications Commission

Dated at Edm onton, Alberta, thjs

__._f2~.3:::;___ .. day of May 20 13.

'e
ildrose Alliance Political Association

Privileged and Confidential

Appendix A: Notice of Violation

PROCES-VERBAL DE VIOLATION N de dossier: EPR 9174-1379 Au : Wildrose Alliance association politique
5

NOTICE OF VIOLATION File Nos.: PDR 9174-1379 To: Wildrose Alliance Political Association

Adresse: Suite 202, 10707 -100 Avenue Edmonton (Alberta) T5J 3M1

Address: Suite 202, 10707-100 Avenue Edmonton, Alberta T5J 3M1

Date du proces verbal et paiement: 24 mai 2013 Penalite : 90

Date of Notice and Payment: 24 May 2013 Penalty: $90,000 Pursuant to section 72.07 of the Telecommunications Act, S.C. 1993, c. 38 (the Act), the undersigned has issued this notice of violation finding the Wildrose Alliance Political Association to have committed the following violations contrary to the Canadian Radiotelevision and Telecommunications Commission's (CRTC's) Unsolicited Telecommunications Rules (the Rules) made under section 41 of the Act:

ooo $

En vertu de !'article 72.07 de Ia Loi sur les telecommunications, L.C. 1993, ch . 38 (Ia Lo1), Ia soussignee a emis le present proces-verbal de violation, car, selon elle, le Wildrose Alliance association politique, a commis les violations suivantes des Regles sur les telecommunications non sol/icitees (les Regles) du Conseil de Ia radiodiffusion et des telecommunications canadiennes (CRTC) instituees en vertu de !'article 41 de Ia Loi : Entre mars 2011 et novembre 2012, des telecommunications non sollicitees ont ete faites par le Wildrose Alliance association politique en utilisant un composeur-messager automatique (CMA) , pour faire des sondages aupres de Ia population de !'Alberta. Ces appels ont provoques des violations du paragraphe IV, sous-alinea 4d) des Regles, pour ne pas avoir fourni le nom, l'adresse et le numero de telephone de Ia personne pour qui l'appel a ete fait dans le message. Conformement a !'article 72 .01 de Ia Loi, Ia soussignee a determine que Ia penalite totale pour les violations identifiees ci-dessus est de 90 000 $. La penalite de 90 000 $ doit etre versee au
Receveur general du Canada , par le Wildrose

Between March 2011 and November 2012, unsolicited telecommunications were made by the Wildrose Alliance Political Association to conduct polling campaigns among the Alberta population using an Automatic Dialing-Announcing Device (ADAD) resulting in violations of Part IV, subsection 4d) of the Rules, for not providing the name, address and contact telephone number of the person on whose behalf the call was made in the messages.

Pursuant to section 72.01 of the Act, the undersigned has determined that the total penalty for the violations identified above is $90 ,000. The penalty of $90,000 must be paid by the Wildrose Alliance Political Association to "The Receiver General j9sCanada" in accordance with subsection 72.09(.31.,..>fthe Act.

Alliance association politique, conformement au sousalinea 72.09(3) de Ia Loi.

. Andrea Rosen Cadre en chef de Ia conformite et des enquetes . Chief Compliance and Enforcement Officer